Phillip M. Valley

EASTWIND CAPITAL WEALTH MANAGEMENT

Bonita Springs, FL

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CRD#: 2748315

Professional summary

Phillip Michael Valley, who also goes by Michael Valley, P. Michael Valley, Phillip Michael Valley II, is a registered financial advisor currently at EASTWIND CAPITAL WEALTH MANAGEMENT located in Bonita Springs, Florida.

Phillip is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Phillip has worked at 9 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael Valley | P. Michael Valley | Phillip Michael Valley Ii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. ESTATE PLANNING PROFESSIONALS; NON INVESTMENT-RELATED; WESTERVILLE, OH; INSURANCE SERVICES; OWNER; 06/1991; APPROXIMATELY 30% OF TIME. 2.STOWE MISSION BOARD OF DIRECTORS; NON INVESTMENT- RELATED; COLUMBUS, OH; MEMBER OF AN ADVISORY BOARD FOR A NON PROFIT ORGANIZATION WHICH PLANS AND MONITORS THE FUNCTIONS OF STOWE MISSION; 8/2020; APPROXIMATELY LESS THAN 10% OF TIME - NON DURING NORMAL BUSINESS HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Michael Valley's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

June 13, 2008 - Present

EASTWIND CAPITAL WEALTH MANAGEMENT

Office #2: 921 Eastwind Drive Suite 101, Westerville, OH 43081

RIA

CRD#: 146957

Bonita Springs, FL

Past

March 9, 2011 - December 18, 2014

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

WESTERVILLE, OH

Past

March 12, 2009 - December 31, 2010

AMERICAN EQUITY INVESTMENT CORPORATION

CRD#: 40199

NEW ALBANY, IN

Past

September 5, 2006 - December 31, 2008

WALL STREET FINANCIAL GROUP, INC.

RIA

CRD#: 35830

WESTERVILLE, OH

Past

September 1, 2006 - March 2, 2009

WALL STREET FINANCIAL GROUP, INC.

CRD#: 35830

WESTERVILLE, OH

Past

May 24, 2005 - September 1, 2006

GENEOS WEALTH MANAGEMENT, INC.

RIA

CRD#: 120894

WESTERVILLE, OH

Past

May 23, 2005 - September 1, 2006

GENEOS WEALTH MANAGEMENT, INC.

CRD#: 120894

WESTERVILLE, OH

Past

October 10, 2001 - May 18, 2005

BRECEK & YOUNG ADVISORS, INC.

RIA

CRD#: 40395

COLUMBUS, OH

Past

March 9, 2001 - May 18, 2005

BRECEK & YOUNG ADVISORS, INC.

CRD#: 40395

FOLSOM, CA

Past

July 31, 2000 - March 6, 2001

DONAHUE SECURITIES, INC.

CRD#: 24330

CINCINNATI, OH

Past

June 30, 1999 - August 10, 2000

LEGACY FINANCIAL SERVICES, INC.

CRD#: 38697

PETALUMA, CA

Past

October 29, 1998 - May 20, 1999

AMVEST SECURITIES, INCORPORATED

CRD#: 18380

COLUMBUS, OH

Past

June 20, 1996 - September 25, 1998

PRIM SECURITIES, INCORPORATED

CRD#: 30504

INDEPENDENCE, OH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(2/1/2017)

IAR

Louisiana
(8/14/2019)

IAR

Ohio
(6/13/2008)

IAR

Pennsylvania
(7/31/2018)

IAR

Texas
(7/10/2012)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/28/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/18/2014

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/10/1996

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EASTWIND CAPITAL WEALTH MANAGEMENT

EASTWIND CAPITAL WEALTH MANAGEMENT | ESTATE PLANNING PROFESSIONALS | EPP CORPORATE RETIREMENT SERVICES | EASTWIND CAPITAL, LLC

CRD#: 146957 / SEC#: 801-69213

RIA

Registered Investment Advisory firm - (7/27/2012 Terminated)

Florida

Registered Investment Advisory firm - (2/1/2017 Approved)

Indiana

Registered Investment Advisory firm - (12/17/2015 Terminated)

Louisiana

Registered Investment Advisory firm - (8/14/2019 Approved)

Ohio

Registered Investment Advisory firm - (7/17/2012 Approved)

Pennsylvania

Registered Investment Advisory firm - (7/31/2018 Approved)

Texas

Registered Investment Advisory firm - (7/10/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

921 Eastwind Drive Suite 101, Westerville, OH 43081

Mailing Address

Phone number

(614) 888-2230

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	501
AUM (Assets Under Management)	$ 69,593,040

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Phillip M. Valley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Phillip Michael Valley's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN EQUITY INVESTMENT CORPORATION

AMERICAN EQUITY INVESTMENT CORPORATION

WALL STREET FINANCIAL GROUP, INC.

WALL STREET FINANCIAL GROUP, INC.

GENEOS WEALTH MANAGEMENT, INC.

GENEOS WEALTH MANAGEMENT, INC.

BRECEK & YOUNG ADVISORS, INC.

BRECEK & YOUNG ADVISORS, INC.

DONAHUE SECURITIES, INC.

LEGACY FINANCIAL SERVICES, INC.

AMVEST SECURITIES, INCORPORATED

PRIM SECURITIES, INCORPORATED

State Registrations and Notice Filings

Exams

Series 66

Date: 10/28/2003

SIE

Date: 12/18/2014

Series 7

Date: 12/5/2000

Series 6

Date: 6/10/1996

Current Firm

EASTWIND CAPITAL WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EASTWIND CAPITAL WEALTH MANAGEMENT

TRUST BUT VERIFY

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